Maryland Business Law & Corporate Litigation Blog

FINRA Announces NAC Revisions to Sanction Guidelines

  • May 3, 2017
  • heyman
NAC FINRA advisor

The Financial Industry Regulatory Authority (FINRA) is an independent regulatory body in charge of overseeing the practices and activities of covered financial firms, brokers, and other parties. National Adjudicatory Council (NAC) is FINRA’s main appellate tribunal. NAC is comprised of…

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